DFX Intelligence
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Feed of 09/14/2026
Also filed as R••••• D••••••••• T••••• D••••••••• D••••••
At current firm
16 y
since Feb 18, 2010
In the industry
33 y
since Mar 26, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Feb 18, 2010 · Ocala, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 14, 2009 to Feb 16, 2010 · Ocala, Fl
- U•• F•••••••• S••••••• I••• wirehouseOct 8, 1999 to Aug 15, 2009 · Ocala, Fl
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Feb 16, 2010, registered Feb 18, 2010 (2 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 15, 2009, registered Aug 14, 2009 (-1 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address